Broker-Dealer Financial Risk Analyst

The Division of Trading and Markets (TM) is seeking a Financial Analyst (Broker-Dealer Financial Risk Analyst) to support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers. This position supports the 17(H) Risk Assessment Program and serves an integral role within the Office of Broker-Dealer Finances (OBDF) Working Group, using a variety of financial data to provide comprehensive analysis.

As a Broker-Dealer Financial Risk Analyst, you will support the supervision of broker-dealers and the financial responsibility requirements, including protection of customer assets held by broker-dealers. Under OBDF, the 17(H) Risk Assessment Program monitors concerns that arise regarding the financial conditions of a broker-dealer, its holding company, and its affiliates pursuant to sections 17h-1T and 17h-2T of the Exchange Act. This position supports the 17(H) Risk Assessment Program and serves an integral role within the OBDF Working Group, using a variety of financial data to provide comprehensive analysis. In this role as a Broker-Dealer Financial Risk Analyst, you will be responsible for: Serving as a technical expert on understanding financial conditions and issues related to liquidity, market, credit, and operations risk at regulated entities. Reviewing and analyzing 17(H) filings of assigned broker-dealers for compliance and to understand the structure of regulated entities and interconnectedness with material affiliates. Performing risk monitoring activities over customer carrying and clearing broker-dealer business and 15c3-1 and 15c3-3 compliance. Performing financial analysis to identify, assess and aggregate risk. Conducting extensive research of industry, academic, and media financial information and data to present current securities industry trends and emerging issues affecting regulated broker-dealer entities. Being proficient in gathering, combining and reporting on large quantities of financial data. Researching and analysis of data sets to identify patterns or trends to augment risk assessment and risk monitoring over regulated entities. Using various technical tools (databases, statistical programming, or analytical tools) to enhance data management and analytical capabilities. Preparing and presenting findings and recommendations of the review and analysis to TM senior leadership.